Brokerage Product Operations Analyst
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Job Description
Brokerage operations analyst overseeing self-directed brokerage processing, supervisory reviews, and risk controls. Supporting financial products, regulatory initiatives, and operational improvements at Empower.
Responsibilities:
- Serve as a subject matter expert and registered principal for self-directed brokerage products, brokerage operations, and applicable registered activities
- Perform supervisory reviews and principal-level oversight according to regulatory requirements and company policies
- Perform and oversee brokerage processing, including new account review and acceptance, account opening, account maintenance, contributions, asset transfers, and customer requests
- Monitor brokerage applications, transactions, and service requests
- Investigate and resolve complex or escalated issues
- Conduct suitability and transaction reviews, identify exceptions, and escalate or resolve issues
- Identify, assess, and mitigate regulatory, financial, operational, and client risks
- Collaborate with Legal, Compliance, Operations, Service, Sales, Systems, Financial Control, Product, Relationship Management, and other business areas
- Coordinate with external brokerage firms, investment providers, and vendors
- Support regulatory, product, process, and technology initiatives, including requirements development, system testing, implementation, audits, reporting, and operational controls
- Evaluate and improve brokerage procedures, processes, and controls
- Provide brokerage product, operational, supervisory, and regulatory guidance and training
- Support client and prospective client discussions requiring self-directed brokerage expertise
- Support related brokerage and investment products as business needs require
- Perform other duties as assigned
Requirements:
- Bachelor's degree in Business, Finance, or a related field, or equivalent related experience
- Three or more years of financial services experience, including demonstrated experience with brokerage products, brokerage operations, or transaction processing
- Demonstrated knowledge of self-directed brokerage products, account operations, transaction processing, and applicable securities regulatory requirements
- FINRA Series 7, Series 24, and Series 63 registrations required
- FINRA Fingerprinting required
- Ability to investigate, analyze, and resolve complex brokerage, operational, regulatory, and client issues
- Ability to identify operational and regulatory risks, evaluate controls, and implement corrective actions
- Strong written and verbal communication skills
- Strong attention to detail and ability to complete work accurately within established processing and service timelines
- Proficiency with Microsoft Office applications
- Ability to learn systems required to support self-directed brokerage products and brokerage operations
- Ability to exercise independent judgment within established policies, procedures, supervisory requirements, and regulatory standards
- Applicants must be authorized to work for any employer in the U.S.; no employment visa sponsorship available
- Reliable high-speed internet with a wired connection and a suitable home workspace for remote work
Benefits:
- Medical, dental, vision and life insurance
- 401(k) plan with generous company matching contributions (up to 6%)
- Financial advisory services
- Potential company discretionary contribution
- Broad investment lineup
- Tuition reimbursement up to $5,250/year
- Business-casual environment with the option to wear jeans
- Generous paid time off upon hire
- Ten paid company holidays and three floating holidays each calendar year
- Paid volunteer time — 16 hours per calendar year
- Paid parental leave
- Paid short- and long-term disability
- Family and Medical Leave (FMLA)
- Business Resource Groups (BRGs)
- Bonus program opportunity for non-sales positions
- Other necessary computer equipment provided
- Flexible work environment
- Reliable high-speed internet and home workspace required for remote work
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